John E Kozakis

Employer firm

Northwestern Mutual Investment Services, LLC CRD 2881

1 advisory clients

Reported services (Item 5G)

• INVESTMENT RESEARCH; REFERRALS TO OTHER ADVISERS

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 03/2002 → Present
  Northwestern Mutual Life Insurance Company
  Milwaukee, WI
• 03/2002 → Present
  Northwestern Mutual Investment Services, Llc
  Clinton, NJ
• 05/2007 → Present
  Northwestern Mutual Wealth Management Company
  Milwaukee, WI

Previous Registrations

• 2007-03-15 → 2007-04-30
  Northwestern Mutual Wealth Management Company
  53202, WI

Other Businesses

1. MAY EARN COMMISSIONS FROM INSURANCE COMPANIES NOT AFFILIATED WITH NORTHWESTERN MUTUAL FOR SALES OF NON-VARIABLE LIFE, HEALTH, ANNUITY AND/OR DISABILITY INCOME INSURANCE PRODUCTS. 2. CFG, LLC, 50% owner, 1322 Route 31 N Ste 1 Annadale, NJ 08801, entity established for business expenses, 0 hrs/month, start date 1/1/08, non-investment related. 3. 100% OWNER, CFG, LLC, 1322 ROUTE 31 N STE 1, ANNANDALE, , NEW JERSEY, 08801, UNITED STATES OF AMERICA, LEGAL ENTITY - RECEIVING WMC AND RISK COMPENSATION FROM PERSONAL PRODUCTION, START DATE: 1/1/2008, HOURS PER MONTH: 41-79, HOURS DURING SECURITIES TRADING HOURS: 41-79, FOUNDER & PARTNER 4. 100% OWNER, CLAYBIRD JOY, LLC, LEGAL ENTITY, START DATE: 1/1/2022, HOURS PER MONTH: 80+, HOURS DURING SECURITIES TRADING HOURS: 80+, MANAGEMENT AND WMA 5. 45% OWNER, BDA1, LLC (WMC COMP AND EA EMPLOYMENT), LEGAL ENTITY - RECEIVING WMC COMPENSATION FROM PERSONAL PRODUCTION, START DATE: 3/15/2024, HOURS PER MONTH: 21-40, HOURS DURING SECURITIES TRADING HOURS: 6-20, ESTABLISHED FOR BUSINESS PURPOSES; INVESTMENT-RELATED.

Exams

• S66 Uniform Combined State Law Examination
  2006-08-16
• S63 Uniform Securities Agent State Law Examination
  1994-02-28